DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from W&S Brokerage Services, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Lauren Grames | W&S Brokerage Services, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2023 | Dec 6, 2023 |
| Tyler Dean Sass | W&S Brokerage Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2023 | Nov 16, 2023 |
| Derrick Edwards | W&S Brokerage Services, Inc. BD affiliated | Corecap Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 17, 2023 |
| Blake Alexander Rudolph | W&S Brokerage Services, Inc. BD affiliated | Pinnacle Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2023 | Jan 25, 2024 (178 d) |
| Brian James Radack | W&S Brokerage Services, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2023 | Oct 11, 2023 (93 d) |
| Joseph Mark Duea | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2023 | Aug 17, 2023 (98 d) |
| Peter A Greene | W&S Brokerage Services, Inc. BD affiliated | Baynes Investment Counsel LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 10, 2023 | Apr 27, 2023 |
| John Edward Kariss | W&S Brokerage Services, Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2023 | Jan 25, 2023 |
| Nathan Randall Miller | W&S Brokerage Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 10, 2023 | Feb 27, 2023 (48 d) |
| Stephanie Fisher | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Jan 9, 2023 (31 d) |
| Christopher Michael Sheeler | W&S Brokerage Services, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2022 | Apr 20, 2023 (204 d) |
| Russell D Rhodes | W&S Brokerage Services, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2022 | Dec 26, 2023 (489 d) |
| Brett S. Letchworth | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 24, 2022 | Aug 22, 2022 |
| Derrick Fitzgerald Stevenson | W&S Brokerage Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2022 | Jul 18, 2022 |
| Joseph Michael Faragasso | W&S Brokerage Services, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 27, 2022 | Jun 28, 2022 |
| Jeremy W Bierlein | W&S Brokerage Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 27, 2022 | Jul 17, 2023 (385 d) |
| Nicholas Winter | W&S Brokerage Services, Inc. BD affiliated | Bartlett & Co. Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2022 | Sep 12, 2024 (808 d) |
| Brandon Michael Vornhagen | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Jun 9, 2022 |
| Ivan Bondarenko | W&S Brokerage Services, Inc. BD affiliated | Ernst & Young Investment Advisers Llp no RAUM | Other | Jun 13, 2022 | Jun 5, 2023 (357 d) |
| Carl Scott Trent | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 25, 2022 | Jun 1, 2022 |
| Brett Christian Roth | W&S Brokerage Services, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2022 | Jun 13, 2022 |
| Talhon Ford Campbell | W&S Brokerage Services, Inc. BD affiliated | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2022 | May 13, 2022 |
| Gerald Wayne Childs | W&S Brokerage Services, Inc. BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2022 | Apr 6, 2022 |
| Minka Muka | W&S Brokerage Services, Inc. BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2022 | Mar 30, 2022 |
| Blake William Bauer | W&S Brokerage Services, Inc. BD affiliated | Tcw Investment Management Company LLC asset manager | Other | Mar 28, 2022 | Aug 5, 2022 (130 d) |
| Randall Lee Huot | W&S Brokerage Services, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Mar 2, 2022 |
| Edward Easterling | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 8, 2022 | Feb 17, 2022 |
| Brian Albert Lee | W&S Brokerage Services, Inc. BD affiliated | First Advisors National, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2022 | Jan 19, 2022 |
| Delores J May | W&S Brokerage Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2021 | Jul 12, 2022 (210 d) |
| Chris Telezyn | W&S Brokerage Services, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Feb 2, 2022 (50 d) |
| Teresa Young | W&S Brokerage Services, Inc. BD affiliated | First Advisors National, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 6, 2021 | Dec 1, 2023 (725 d) |
| Michael D Snoeyink | W&S Brokerage Services, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2021 | Jan 27, 2023 (463 d) |
| Ellen Glenn Honeycutt | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 19, 2021 | Dec 24, 2021 (66 d) |
| Angela Coffman Mackinnon | W&S Brokerage Services, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 10, 2021 | Apr 27, 2022 (229 d) |
| David Trafican | W&S Brokerage Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2021 | Aug 16, 2021 |
| Benjamin Enrique Velasquez | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2021 | Oct 4, 2021 (63 d) |
| Jeffrey Lee Crader | W&S Brokerage Services, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Jul 13, 2021 (35 d) |
| Ricky Joe Dover | W&S Brokerage Services, Inc. BD affiliated | Empower Advisory Group, LLC other | Other | Jun 8, 2021 | Jun 22, 2021 |
| Brian Antonio Madrigal | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | Jun 22, 2021 (36 d) |
| Naghmeh Nadry | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 17, 2021 | May 24, 2021 |
| Jordan Anthony Leonard | W&S Brokerage Services, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 26, 2021 | Apr 26, 2021 |
| Tony W Toombs | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Jun 1, 2021 (69 d) |
| Eric Anthony Rollins | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2021 | May 5, 2021 (42 d) |
| Torrec Sontiest Hawkins | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2021 | May 10, 2021 (47 d) |
| Patricia Rose Piatt | W&S Brokerage Services, Inc. BD affiliated | Exodus Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2021 | Feb 9, 2022 (335 d) |
| Jeffrey Alan Bettermann | W&S Brokerage Services, Inc. BD affiliated | Advisor Share Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2021 | Jul 26, 2021 (137 d) |
| Gina Stoltz | W&S Brokerage Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Apr 6, 2021 (41 d) |
| Thomas May | W&S Brokerage Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 16, 2021 |
| Michael Burton Ohlemacher | W&S Brokerage Services, Inc. BD affiliated | Sequent Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2021 | Feb 23, 2021 |
| Zach Recker | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 2, 2021 | Feb 25, 2021 |
| David A Kudo | W&S Brokerage Services, Inc. BD affiliated | First Advisors National, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2021 | Apr 18, 2022 (460 d) |
| Kermit J Coble | W&S Brokerage Services, Inc. BD affiliated | Mwa Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2021 | Nov 18, 2022 (679 d) |
| Jeffrey Allen Dunn | W&S Brokerage Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 15, 2020 | Jul 19, 2021 (216 d) |
| Jeremy Craig Mayfield | W&S Brokerage Services, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2020 | Dec 1, 2020 |
| Tanner Cole Bivens | W&S Brokerage Services, Inc. BD affiliated | Mcadam LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2020 | Jul 23, 2021 (234 d) |
| Troy Lynn Olson | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2020 | Nov 23, 2020 |
| Marcelle Gordon | W&S Brokerage Services, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2020 | Oct 15, 2020 |
| Patrick S. Millard | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 11, 2020 | Aug 7, 2020 |
| David Charles Betz | W&S Brokerage Services, Inc. BD affiliated | Money Concepts Advisory Service BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 13, 2020 |
| Michael Bono | W&S Brokerage Services, Inc. BD affiliated | Madison Avenue Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Jun 30, 2020 |
135 moves match.